Form D · Investing
Rockwood North Carolina Note Issuer III 2016 LLC
St. Louis, MO · CIK 0001679821
Offering snapshot reported Jul 15, 2016 · SEC filing
- Reported sold
- $13.3M Offering amount: $13.3M
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jul 14, 2016 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jul 15, 2016 | Initial | $13,311,121 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Debt
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $402K
- Finders' fees
- $0
- Form D file number
- 021-267139
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Raymond James & Associates, Inc. | 705 |
Source: Form D, filed Jul 15, 2016. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Chuck Kaiser | Executive |
| Scott A. Zajac | Executive |
Issuer details
Industry: Investing (See others in industry)
Address:
190 Carondelet Plaza Suite 1250
St. Louis, MO, 63105
St. Louis, MO, 63105